NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-06239 Alex and Loretta Theriot, claimants vs. Michael J. Cuevas, respondent. ATTORNEYS: For Claimants appeared David J. Ventura, Esq., Boca Raton, FL. Respondent appeared pro se, Pembroke Pines, FL. DATE FILED: November 19, 2001 CASE SUMMARY: Claimants alleged that respondent misrepresented facts regarding Certificates of Deposit (CDs) that were recommended. Claimants maintained th

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Sigmund Stelnfink and Nancy Steinflnk, JTWROS (Claimants) vs. Ameritrade, Inc. (Respondent) Case Number 00-01640 Hearing Site: Chicago, Illinois OF PARTIES Claimants Sigmund Steinfink and Nancy Steinfink ("Steinfink"): Jacob Steinfink. Esq., Steinfink, Park & Lorigstreet, P.C., Chicago, Illinois Respondent Ameritrade, Inc. ("Respondents 11 ): Andrew J. Harger, Esq., Legal

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-06236 • Lubrano Family Trust, claimant vs. WM Financial Services, Inc., respondent. ATTORNEYS: Claimant appeared pro se through its Trustee, Alfonso Lubrano, Laguna Niguel, CA. For Respondent appeared in-house counsel, Susan L. Formaker, Esq., Chatsworth, CA. DATE FILED: November 19, 2001 CASE SUMMARY: Claimant alleged that respondent misled him to purchase stocks which were unsuit

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Warren W. Wood, Indv. and as Trustee of the Warren W. Wood Rev. Living Trust and 01-06230 Phoenix, Arizona Name of Respondents Prudential Securities, Inc. Martin J. Weibel Jennifer M. Pope REPRESENTATION OF PARTIES Warren W. Wood, Indv. and as Trustee of the Warren W. Wood Rev. Living Trust ("Claimant") was represented by John R. Hoopes,

NASD DISPUTE RESOLUTION AWARD DISPUTE RESOLUTION, INC. CASE: 01-06228 , , Carl Fergo and Barbara Fergo, claimants vs. Anthony Giamo, Marc Giamo, Merrill Lynch, Pierce, Fenner & Smith, & the Giamo Group, respondents. ATTORNEYS: For Claimant appeared Mark F. Magnozzi, Esq. of the firm Helfand & Helfand, New York, NY. For Respondents appeared in-house counsel Christopher D. Cavuoti, Esq., New York, NY. DATE FILED: November 19, 2001 CASE SUMMARY: Cl

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eugene R. Guerrera (Claimant) v, Salomon Smith Barney, Inc. n/k/a/ Citigroup Global Markets, Inc. (Respondent) Case Number: 01-06225 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant Eugene R. Guerrera hereinafter referred to as "Claimant": Morgan W. Bentley, Esq., Attorney at Law, Newark, NJ. Previous

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-06214 Rita Morrical, individually Rita Metrical IRA Rita Morrical, as Trustee for the Thorndyke Family Trust dtd 11/30/92 Name of the Respondent Hearing Site: Orlando., Florida Allen Douglas Securities, Inc. REPRESENTATIQN OF PARTIES For Rita Morrical, individually, Rita Morrical IRA, and Rita Morrical, as Trustee for the Thorndyke Family Trust dt

Stipulated Award NASD In the Matter of the Arbitration Between: Sean Calhoun, Claimant v. First Union Securities. Inc. and Marcio Larsh, Respondents Case Number: 01-06210 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Sean Calhoun, hereinafter referred to as "Claimant 5 *: Russell C. Silverglate, Esq.. Dickenson Murphy Rex and Sloan, Boca Raton, FL. For First Union Securities. Inc. ("FUS") and Marcio Larsh ("Larsh"), hereinafter

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Anne E. Oleszek and Pursuit Health Formulas, Inc. and Case Number: 01-06209 Hearing Site: Southfield, Michigan Names of Respondents Donald & Co, Securities, Inc. Yefim Jeff Bassin and Stephen A. Blum REPRESENTATION OF PARTIES Anne E. Oleszek ("Oleszek") and Pursuit Health Formulas, Inc., ("Pursuit") hereinafter referred to as "Claimants" wer

In the Matter of the Arbitration Between: Names of Claimants Case Number: 01-06207 Helen L. McAbee, Trustee, Charles M. McAbee Trust U/A 4-30-87, Helen L. McAbee, Trustee, Helen L. McAbee Trust U/A 4-30-87, NFSC/FMTC IRA FBO Helen L. McAbee, and Helen T. Lemly by Helen L. McAbee, her Attorney-in-Fact Names of Respondents Hearing Site: Tampa, Florida The Huntington Investment Company James L. Springer, Jr. REPRESENTATION OF PARTIES Fo